Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kelly? Claim Your ProfileKelly Diane Rutherford is a financial advisor at UBS Financial Services Inc. Kelly Diane Rutherford has been in the industry since 2000. Kelly Diane Rutherford holds the Series 7, Series 31, Series 63, and Series 65 licenses. Kelly Diane Rutherford is registered with FINRA and the state of Texas. Kelly Diane Rutherford has experience with individuals, corporations, high net worth individuals, pension and profit-sharing plans, insurance companies, charitable organizations, state and municipal government entities, and pooled investment vehicles. Kelly Diane Rutherford previously worked at CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY & CO., INCORPORATED, MORGAN STANLEY DW INC. and FROST BROKERAGE SERVICES, INC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
TX
07/09/2008 - Present
UBS Financial Services Inc. (AUSTIN TX)
TX
09/11/2007 - 07/03/2008
CITIGROUP GLOBAL MARKETS INC. (AUSTIN TX)
TX
04/02/2007 - 09/05/2007
MORGAN STANLEY & CO., INCORPORATED (AUSTIN TX)
TX
03/02/2005 - 04/02/2007
MORGAN STANLEY DW INC. (AUSTIN TX)
TX
02/24/2000 - 02/22/2005
FROST BROKERAGE SERVICES, INC. (SAN ANTONIO TX)
IA
Issued 01/20/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/29/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/26/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 02/23/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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